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Home > Compliance, Churning, Raiding Expert #39261

Compliance, Churning, Raiding Expert #39261

I have 37 years of experience, and specialize in the field of securities industry practices with specific knowledge in the areas of sales practices, compliance and supervision. I have published on such topics as auction rate securities, limited partnerships, suitability and the applicability of equity in securities arbitration. I have testified 99 times on topics such as supervision and suitability.

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